Keprinted  from  The  Annals  of  the  American  Academy  of  Political  and 
Social  Science,  Philadelphia,  February,  1914. 


THE  CITY-MANAGER  CHARTER  OF  DAYTON 


By  L.  D.  Upson, 

Director,  Bureau  of  Municipal  Research,  Dayton,  Ohio. 


The  Dayton  charter  is  an  endeavor  to  retain  the  strength  of 
the  commission  plan — the  concentration  of  policy  determining 
auth(5fit3^in~a~Tsmall  non-partisan  leg^islative  body — and  to  add  to 
it  a  pUrmSTient  administrativeTorce  of  trained  executives.  I^ither 
the  c(5himissiGn~hor  federal  scheme  cf  govemm.ent  secures  this  last 
end.  The  federal  ward  plan  of  representation,  and  the  Tiennial 
change  of  departmental  heads,  has  been  discredited.  And  investiga¬ 
tions  showed  that  commission  government,  while  an  improvemient, 
had  not  secured  the  desirable  efficiency  in  city  administration. 

It  does  not  appear  practicable  to  select  m.en  from  the  average 
walks  of  life,  and  require  them  not  only  to  deteimine  the  policies 
of  a  municipality,  but  also  to  direct  the  technical  details  of  conduct¬ 
ing  a  city  departm.ent.  The  obvious  solution  of  this  problem  is  the 
complete  separation  of  the  legislative  from  the  administrative  func¬ 
tions  of  governm.ent  in  conjunction  with  a  short  non-partisan  ballot. 
This  was  effected  in  the  Dayton  charter,  which  was  m.odeled  closely 
upon  the  Lockport  plan.  The  representative  body  is  limited  strictly 
to  legislative  duties — determining  what  shall  be  the  large,  general 
policies  for  the^  government.  The  execution  of  these  policies  is 
delegated  to  an  appointed  city  manager  held  definitely  responsible 
for  them. 

Five  commissioners  or  councilmen,  elected  at  large  on  a  non¬ 
partisan  ticket  for  a  term  of  fom*  years,  constitute  the  legislative 
division  of  the  city’s  government.  After  consideration  of  both 
proportional  representation,  and  the  preferential  ballot,  it  was 
decided  that  nominations  be  secured  by  at  least  two  per  cent  of  the 
registered  voters  signing  a  petition  to  place  their  candidate  on  the 
primary  ballot.  At  the  first  election  five  candidates  were  selected, 


(862) 


The  City-Manager  Charter  of  Dayton 


193 


the  three  receiving  the  greatest  vote  to  serve  for  four  years.  The 
remaining  two  hold  office  for  two  years. 

Thus  the  board  of  commissioners  becomics  a  continuous  body, 
two  members,  then  three  members  being  elected  every  alternate 
two  years.  In  this  m.anner  a  legislative  bod}^  will  be  assured,  a  por¬ 
tion  of  which  will  be  always  familiar  with  the  affairs  of  the  city; 
and  at  the  sam.e  time  there  will  be  a  tendency  to  prevent  the  whole¬ 
sale  rem^oval  of  admiinistrative  officers,  such  as  might  be  attendant 
upon  a  quadrennial  choosing  of  entirely  new  representatives. 

The  commissioner  receiving  the  highest  vote  at  the  elect-ion  at 
which  three  commissioners  are  chosen — that  is  once  every  four  years, 
acts  as  mayor.  His  major  duties  are  to  act  as  chairman  of  the  com¬ 
mission  and  to  represent  the  city  as  one  ol,tiie  members  of  the 
coumfy  budget  commission  for  the  fixing  of  the  tax  rate.  In  addi¬ 
tion  he  is  recognized  as  the  official  head  of  the  city  by  the  courts, 
and  by  the  governor  for  the  purposes  of  the  military  law.  There  is 
no  veto  power,  and  the  mayor  is  in  reality  only  the  cereimonial  head 
of  the  government. 

Objection  has  been  made  to  this  method  of  choosing  the  mayor, 
in  preference  to  having  candidates  run  for  this  designated  office. 
It  is  now  possible  for  any  disgruntled  faction  by  failing  to  vote  for 
all  but  one  candidate  to  insure  the  choice  of  the  most  undesirable 
member  of  the  commiission  as  miayor.  This  has  not  proved  true 
locally,  but  is  doubtless  a  theoretical  objection  with  considerable 
foundation. 

Commiissioners  receive  a  nominal  salary  as  only  a  portion  of 
their  time  is  necessary  for  the  perfoimance  of  their  public  duties, 
which  may  be  summarized  as: 

1.  The  appointment  of  a  city  manager. 

2.  The  enactment  of  the  city  appropriation  ordinance,  and 

approval  of  the  mayor’s  budget  upon  which  the  tax  rate 
is  based. 

3.  Enactm.ent  of  police  ordinances. 

4.  Enactment  of  resolutions  and  ordinances  determining  upon 

public  works  to  be  paid  'for  by  special  assessment. 

Aside  from  the  city  manager  the  commission  is  empowered 
to  appoint  a  clerk,  several  members  of  an  unimportant  county  board,, 


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The  Annals  of  the  American  Academy 

and  a  non-partisan  board  to  execute  the  civil  service  clause  of  the 
charter.  The  appointments  of  the  city  manager  may  be  made 
from  the  entire  eligible  list,  as  determined  by  the  civil  service  board, 
and  dismissals  can  become  operative  only  after  an  appeal  to  that 
body  has  been  heard.  Such  latitude  in  employing  would  permit  a 
commission  and  manager  so  inclined  to  create  a  political  machine 
almost  impregnable.  On  the  other  hand,  the  privilege  granted  of  a 
dismissed  employee  to  appeal  to  a  board  whose  decision  is  final, 
practically  compels  the  manager  to  prove  incompetency  beyond 
any  question.  The  manager  is  directly  responsible,  not  only  to  the 
commission,  but  to  the  public  for  the  efficient  administration  of  the 
city,  and  inability  to  dismiss  freely  undesirable  employees  would 
seem  to  throw  an  unwarranted  obstacle  in  the  way  of  that  accom¬ 
plishment. 

The  city  manager,  appointed  by  the  commission,  is  the  adminis¬ 
trative  head  of  theTity  government,  and  responsible  for  all  depart¬ 
ments.  This  adminis^trator  is  appointed  without  regard  to  political 
beliefs,  and  “may  or  may  not  be  a  resident  of  the  city  of  Dayton 
when  appointed.”  But  whether  the  manager  may  be  a  resident  of  a 
state  other  than  Ohio  is  questionable.  The  state  constitution 
requires  that  “no  person  shall  be  elected  or  appointed  to  any  office 
in  this  state,  unless  he  possess  the  qualifications  of  an  elector.”  The 
manager  holds  office  at  the  will  of  ffie  _cqmmis_sioners  and  is  also 
subject  to  popularrecanr  This  last  provision  is  of  course  a  departure 
from  recognized  good  practice,  but  was  believed  necessary  to  secure 
public  endorsement  of  so  radical  an  innovation  in  the  method  of 
local  government. 

Doubtless  also  the  position  and  political  independence  of  this 
executive  would  have  been  strengthened  had  it  been  made  necessary 
for  the  comimxission  in  discharging  their  employee,  to  prefer  formal 
charges  and  hold  a  public  hearing  upon  the  same.  The  short  ballot 
and  the  recall  will  probably  inhibit  a  repetition  of  the  political 
jobbery  in  the  dismissing  and  hiring  of  a  manager,  which  is  seen  so 
frequently  in  the  instance  of  school  superintendents,  yet  it  might 
have  been  well  to  make  this  prohibition  doubly  sure. 

Summarized  briefly  the  duties  of  the  manager  are  as  follows: 

/  1.  To  see  that  the  laws  and  ordinances  are  enforced. 

(  2.  To  appoint,  and  except  as  herein  provided,  remove  all 


4. 


(864) 


The  City-Manager  Charter  of  Dayton  195 

directors  of  departments  and  all  subordinate  officers 
and  employees  in  the  departments  in  both  the  classified 
and  unclassified  service.  ^ 

3.  To  exercise  control  over  all  departments  and  divisions 

created  herein  or  that  may  be  hereafter  created  by  the 
commission. 

4.  To  attend  all  meetings  of  the  commission  with  the  right 

to  take  part  in  the  discussion  but  having  no  vote. 

5.  To  recommend  to  the  commission  for  adoption  such  measures 

as  he  may  deem  necessary  or  expedient. 

6.  To  keep  the  commission  fully  advised  as  to  the  financial 

condition  of  the  city,  and 

7.  To  perform  such  other  duties  as  may  be  prescribed  by  the 

charter  or  be  required  of  him  by  ordinance  or  resolution 
of  the  commission. 

It  will  be  noted  that  these  duties  are  in  no  way  political  or 
policy  determining,  and  their  delegation  to  an  appointive  officer 
cannot  be  considered  as  relinquishing  any  rights  that  the  public 
may  have  in  the  government. 

For  administrative  purposes  the  municipal  government  is 
divided  into  the 

1.  Department  of  law. 

2.  Department  of  public  service,  comprising  the  construction 

and  maintenance  of  streets,  sidewalks  and  sewers;  col¬ 
lection  and  disposal  of  waste;  and  management  of  public 
utilities. 

3.  Department  of  safety,  comprising  the  divisions  of  fire  and 

police,  building  inspection,  and  the  enforcement  of 
ordinances  relating  to  weights  and  measures. 

4.  Department  of  finance,  comprising  the  divisions  of  accounting, 

and  the  purchasing  of  supplies,  the  office  of  treasirrer  ^ 

being  abolished  as  a  duplication  of  the  work  of  the  auditor. 

5.  Department  of  public  welfare,  comprising  the  divisions  of 

health,  parks  and  playgrounds,  charities  and  correction. 

At  the  head  of  each  department  is  a  director,  chosen  by  the 
manager,  responsible  to  him  and  to  the  commission  for  the  econom¬ 
ical,  efficient  and  proper  conduct  of  the  division.  The  commission 


(86s) 


196  The  Annals  of  the  American  Academy 

may,  however,  by  ordinance  discontinue  any  department  and  deter¬ 
mine,  combine  and  distribute  the  functions  of  government  as  they 
see  fit.  The  municipal  judicial  election  and  educational  systems 
are  by  law  without  the  jurisdiction  of  the  charter. 

It  is  possible,  however,  that  the  division  of  the  government 
into  these  five  principal  departments,  inherent  in  the  commission 
plan,  was  too  slavishly  copied  in  the  local  document.  The  newly- 
elected  commissioners  seriously  considered  exercising  their  authority 
to  abolish .  this  proposed  organization  and  increaise  the  number  of 
divisions  or  bureaus  to  a  total  of  twelve.  While  this  proposal  would 
increase  the  supervisory  duties  of  the  manager,  it  would  have  made 
the  head  of  each  division  an  actual  working  unit  rather  than  an 
administrative  position.  The  salaries  of  the  supervisory  places 
abolished  could  have  been  distributed  in  part  to  the  heads  of  divisions, 
with  a  view  to  securing  a  higher  grade  of  executive,  and  very  advisedly 
might  have  been  partially  invested  in  securing  an  assistant  city  mana¬ 
ger,  thereby  insuring  a  more  than  one-man  organization.  The 
manager  might  then  resign,  be  recalled,  fall  ill  or  be  otherwise  inca¬ 
pacitated  and  there  would  be  ready  to  assume  his  responsibilities, 
as  manager,  a  subordinate  fully  familiar  with  the  duties,  program 
and  organization  of  the  government.  Under  the  Dayton  charter 
so  many  obligations  devolve  upon  the  manager  personally,  some  of 
whiclTuntortunatelv  are  of  a  purely  routine  character,  such  as  the 
signing  of  all  orders  for  city  supplies,_that  a  few  days’  neglect  would 
bring  the  local  administration  into  grave  disorder^ 

'  During  the  campaign  antecedent  to  the  writing  and  adoption 
of  the  charter,  considerable  discussion  was  raised  concerning  the 
proper  status  of  the  city  solicitor  and  auditor  in  the  proposed  plan. 
It  was  contended  that  the  financial  officer,  being  accountable  for  any 
illegal  payments  by  his  department,  should  have  a  discretion  inde¬ 
pendent  of  managerial  influence.  It  was  also  advanced  that  an 
independent  solicitor  would  be  ample  security  to  this  end,  since  the 
auditor  must  accept  the  opinion  of  this  officer  as  to  the  legality  of 
financial  transactions  of  the  municipality.  At  one  time  it  was 
proposed  to  have  both  the  solicitor  and  auditor  appointed  by  the 
commission  rather  than  by  the  manager.  This  proposition  probably 
arose  from  a  natural  reluctance  to  desert  entirely  a  government  of 
checks  and  balances  so  long  common  in  American  practice.  It  was,. 


(866) 


The  City-Manager  Charter  of  Dayton 


197 


however,  a  struggle  between  political  theory  and  a  desire  for  con¬ 
centrated  authority  in  which  the  latter  prevailed.  The  correctness 
of  either  position  can  only  be  empirically  determined. 

The  broad  social  character  of  the  document  may  be  judged 
from  the  creation  of  an  entire  department  concerned  with  the 
welfare  of  the  citizen  body.  Not  only  is  the  promotion  of  public 
health,  parks  and  recreation  centered  in  this  division  but  the 
director  must  provide  for  research  into  the  causes  of  poverty, 
delinquency,  crime  and  disease,  and  other  social  problems  in  the 
community;  and  must  by  lectures  and  publicity  facilitate  a  wider 
understanding  of  these  questions.  If  this  section  is  made  effective 
in  the  same  spirit  in  which  it  was  written,  the  city  govemmient 
will  not  only  reflect  the  progressive  socialized  opinion  of  the  citizen 
body,  but  will  create  it,  and  the  city  itself  become  an  active  leader 
in  promoting  the  difficult  art  of  community  living. 

Unique-  in  American  practice  is  a  provision  borrowed  from 
Germany,  which  provides  for  the  possible  appointment  of  citizen 
boards  to  act  in  an  advisory  capacity  with  departmental  heads; 
and  the  appointment  of  a  similar  city-plan  commission  is  made 
miandatory.  No  powers  are  granted  such  bodies,  except  that  their 
recommendations  become  departmental  records,  and  there  mmst 
be  regular  stated  meetings. 

In  addition  to  the  easy  amendment  of  the  charter,  democratic 
government  is  safeguarded  by  the  provision,  for  the  initiative, 
referendum  and  recall.  It  is  unfortunate,  however,  that  the  ballot 
at  recall  electrons"liot  only  contains  the  proposition  for  recall,  but 
also  the  names  of  such  candidates  for  the  possible  vacant  office, 
as  may  have  seemed  the  required  number  of  signatures.  No  recall 
petition  may  be  filed  against  any  officer  until  six  months  after  the 
election  or  the  failure  of  a  recall  election  against  him.  The  per¬ 
centage  of  electors  required  to  initiate  or  refer  legislation  and  to 
recall  officials  is  the  same  or  less  than  that  found  in  over  one-half 
of  the  cities  having  similar  legislation  provisions,  but  is  relatively 
high  when  compared  with  the  percentage — ten  per  c^t — ^^eces- 
sary  to  amend  the  charter.  This  discrepancy  was  knowingly 
incorporated  from  a  desire  to  prevent  the  harassinv^UFTEe  commis¬ 
sion  by  disgruntled  political  elements. 

Aside  from  the  separation  of  the  legislative  and  administrative 


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divisions  of  government,  it  is  in  the  procedure  laid  down  for  the 
operation  of  these  latter  branches,  that  the  charter  is  most  notable. 
While  all  government  is  dependent  on  the  quality  of  chosen  officials 
and  the  extent  of  citizen  interest,  3^et  it  is  believed  that  the  charter 
provisions  governing  budget  making,  accounting  procedure,  the 
purchaiing  ot  supplies,  ser\dce  and  operating  cost,  standardization 
of  duties  and  compensation,  etc.,  are  of  such  a  character  as  will  tend 
to  insure  a  desirable  minimum  of  efficiency  in  city  govemm^ent  even 
should  there  be  an  after^eleetion  slump  in  puEhc^jnterest.  No 
matter  what  character  of  men  are  later  chosen  to  administer  the 
governm.ent  of  Dayton,  they  must  of  necessity  use  the  most  modern 
methods  in  that  administration — m^ethods  which  most  readily  raise 
danger  signals  at  neglect,  inefficiency  or  corruption. 

Frequent  comment  has  been  made  upon  the  almost  universal 
failure  of  commission-governed  cities  to  install  m^odern  scientific 
methods  of  city  business,  and  upon  the  fact  that  a  few  cities  operat¬ 
ing  under  a  cumbersomie  form  of  federal  government  have,  by  the 
adoption  of  these  same  hitherto  neglected  ordinances,  placed  them¬ 
selves  in  the  first  rank  of  efficiently  governed  municipalities.  Even 
were  there  no  lesson  to  be  dravm  from  these  circumstances,  it  is  to 
be  anticipated  that,  in  developing  a  system  of  government  modeled 
closely  upon  the  plan  of  incorporated  commercial  organizations, 
an  endeavor  would  have  been  made  to  include  also  certain  char¬ 
acteristic  features  of  their  management.  Most  notable  of  these 
is  perhaps  the  care  used  in  the  collection  and  disbursem.ent  of  funds. 

Beginning  with  the  appropriation  of  funds,  it  is  required  that 
departmental  estimates  shall  be  compiled  by  the  manager  from 
detailed  information  registered  on  uniform  blanks.  In  substitu¬ 
tion  for  the  heterogeneous  division  of  expenditures  formerly  pre¬ 
vailing,  the  new  classification  must  be  uniform  for  each  of  the  main 
functional  divisions  of  all  departments,  and  departmental  requests 
must  give  in  parallel  columns  the  following  information: 

((a)  A  detailed  estimate  of  departmental  needs. 

(6)  Expenditures  for  corresponding  items  covering  the  past  two 
years. 

(r)  Expenditures  of  the  present  year  including  transfers. 

(J)  Supplies  on  hand. 

{e)  Increases  and  decreases. 


(868) 


The  City-Manager  Charter  of  Dayton 


199 


(/)  Other  information  required. 

(g)  .Recommendations  of  the  city  manager. 

Additional  provision  is  made  for  the  publication  of  and  public 
hearing  on  the  budget  estimate  beford'rr~cah"'5eenacted  into  law. 
This  is  a  notable  gain.  During,. the  old  regime  the  public  was  recently 
able  to  obtain  an  informal  hearing  on  the  departmental  estimates, 
'v  bttt  was  never  allowed  to  learn  tlie  contents  of  the  final  appropria¬ 
tion  ordinance  until  it  was  presented  to  council  for  approval,  and 
then  it  was  not  unfrequently  am^ended  from  the  floor. 

For  the  regulation  of^he  accounting  procedure  it  was  decided 
to  incorporate  two^ections  found  in  the  Cleveland  charter  which 
require  that  “accounting  procedures  shall  be  devised  and  main¬ 
tained  for  the  city  adequate  to  record  in  detail  all  transactions  affect¬ 
ing  the  acquisition,  custodianship  and  disposition  of  values C  A 

corrollary  clduse,  but  one  upon  which  the  above  depends  for  its 
'  interpretation  reads  in  part  as  follows:  “the  commission  shall  cause 
a  continuous  audit  to  be  made.  .  .  .  Such  statements  shall  include 
a  general  balance  sheet,  exhibiting  the  assets  and  liabilities  of  the 
city  supported  by  departmental  schedules,  and  schedules  for  each 
utility  publicly  owned  or  operated ;  summaries  of  income  and  expendi- 
ture  supported  by  detailed  schedules;  and  also  comparison  .  .  . 
with  the  last  previous  year.”  A  strict  accounting  interpretation 
of  the  terms  “income  and  expenditure”  will  place  the  city  account¬ 
ing  upon  a  basis  of  credits  accruing  and  liabilities  incurred  rather 
than  the  usual  cash  receipts  and  disbursements  basis,  upon  which  most 
municipalities  operate. 

Before  the  holiday  season  of  1912  the  city  found  itself  unable 
to  pay  the  salaries  of  the  police  and  fire  forces,  although  several 
hundred  thousand  dollars  were  on  deposit  in  other  funds,  and  all 
credits  of  the  police  fund  had  not  been  collected.  At  the  time  the 
city  was  paying  interest  on  a  large  floating  debt,  for  one  depart¬ 
ment  and  loaning  other  money  to  the  banks  at  reduced  interest. 
Recalling  this  anomaly  the  paper  demarcation  between  funds  was 
withdrawn,  and  for  purposes  of  paying  bills  there  now  exists  only 
one  city  pocket.  However,  only  money  actually  anticipated  to  come 
into  the  treasury  may  be  appropriated,  thus  securing  the  treasury 
from  over -draft.  This  section  was^also  designed  to  prevent  further 
deficits,  in  the  operating  account,  which  in  the  last  six  years  has 
been  exceeded  by  $360,000. 


(869) 


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200  >  *  ■  ‘The  Annals  of  the  American  Academy 

**  •  *  *  %  •  * 

Supplementing  these  provisions  for  financial  accounting  are 

clauses  by  which  “thii  head  of  each  department''.  .  .  shall  require 
proper  time  reports  for  all  services  rendered  .  * .  .  to  serve  as  a 
basis  for  the  preparation  of  pay-roll  youchers,”  and  by  which  each 
departmental  head  must  submit  “current  financial-  and  operating  * 
statements  exhibiting  the  transactions  (of  his  department)  and  the 
cost  therefor.”  is  believed  that  these  provisions  adequately 
provide  for  progressive  budget  making,  general  finance  accounts, 
cost  accounts  and  operative  records — the  m^achinery  of  efficient 
government. 

Revenue  systems  and  forms  of  taxation  are  prescribed  by 
general  law,  not  subject  to  charter  modification.  How'ever,  com¬ 
plete  detail,  too  lengthy  to  be  discussed  in  a  brief  article,  has  been 
provided  for  the  financing  of  public  improvements  and  the  control 
of  franchises. 

The  brief  time  allowed  for  the  preparation  of  the  Dayton 
charter  prevented  a  thorough  consideration  of  some  sections,  and  '■ 
a  review  by  special  authorities.  No  doubt  it  possesses  many  weak¬ 
nesses,  a  number  of  which  have  already  become  apparent  under 
closer  scrutiny.  However,  it  does  not  assume  to  be  the  last  word, 
but  rather  the  first  word  in  government  of  this  character.  Only 
years  of  experience  can  solve  many  of  the  questions  which  are  daily 
presenting  themselves,  and  doubtless  the  final  law  controlling  cities 
adopting  the  principles  incorporated  here  will  have  many  essential 
differences.  Yet  it  is  believed  that  there  hhs  been  devised  here  a 
plan  of  government,  the  principle  of  which  will  solve  the  grave 
problem  of  municipal  administration  in  America. 


(870) 


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